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TCPA Case Law Review (Vol. 4)
  • Vedder Price PC
  • USA
  • August 29 2018

If you have seen members of the TCPA plaintiffs’ bar sweating a bit more than usual lately, it’s not just the summer heatthey’re probably concerned


Global Transportation Finance Newsletter - August 2018
  • Vedder Price PC
  • USA
  • August 28 2018

For companies seeking to finance general equipment assets via asset backed securitization (ABS) instruments, risk retention has become an important


SEC Proposes New Rule to Permit Certain ETFs to Operate Without an Exemptive Order
  • Vedder Price PC
  • USA
  • August 21 2018

On June 28, 2018, the SEC issued a proposed new rule under the Investment Company of 1940 (the 1940 Act) Rule 6c-11that would permit exchange-traded


SEC Staff Issues Additional Guidance Regarding Inadvertent Custody
  • Vedder Price PC
  • USA
  • August 21 2018

In February 2017, the staff of the SEC's Division of Investment Management (the Staff) addressed circumstances in which an investment adviser may be


Ninth Circuit Panel Affirms District Court’s Dismissal of Lawsuit on Grounds That There Is No Private Right of Action for Challenging the Continued Validity of an Investment Company Act Exemption
  • Vedder Price PC
  • USA
  • August 21 2018

On July 12, 2018, a panel of the U.S. Court of Appeals for the Ninth Circuit affirmed the dismissal by the U.S. District Court for the Northern


SEC Adopts Amendments Requiring Inline XBRL Reporting for Fund RiskReturn Summary Information
  • Vedder Price PC
  • USA
  • August 21 2018

On June 28, 2018, the SEC adopted amendments requiring the use of the Inline eXtensible Business Reporting Language (XBRL) format for riskreturn


FINRA Seeks Information on Member Firms’ Activities Related to Digital Assets
  • Vedder Price PC
  • USA
  • August 21 2018

On July 6, 2018, FINRA published Regulatory Notice 18-20 (the Notice) as part of its continuing efforts to ascertain the extent of FINRA member firm


House Passes JOBS and Investor Confidence Act of 2018 (JOBS Act 3.0)
  • Vedder Price PC
  • USA
  • August 21 2018

On July 17, 2018, in a 406-4 vote, the U.S. House of Representatives passed the JOBS and Investor Confidence Act of 2018, commonly referred to as the


Adviser Settles SEC Administrative Proceeding Regarding Conflicts of Interest Disclosure
  • Vedder Price PC
  • USA
  • August 21 2018

Pursuant to an order dated June 4, 2018 (the Order), the SEC settled an administrative proceeding against investment adviser deVere USA, Inc. (DVU)


Defendant Investment Advisers Obtain Partial Summary Judgment in Section 36(b) Excessive Fee Suit
  • Vedder Price PC
  • USA
  • August 21 2018

On June 13, 2018, the U.S. District Court for the District of New Jersey granted in part the defendants’ motion for summary judgment in a shareholder